Name of Laws and Regulations

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Information regarding Corporate Financial Disclosure (Available in Japaneseopen new window)

Q&As

Guidelines

Supervisory Guidelines and Policies

Inspection Manuals

Collection of Reference Cases

  • Collection of Reference Cases related to Quality Management in Audit Identified in Inspections and Collection of Reference Cases Inviting Comments (Available in Japaneseopen new window)
  • Principal Items Identified in the Inspection of Financial Instruments Firms, etc. (Securities and Exchange Surveillance Commission website) (PDFAvailable in Japaneseopen new window)
  • Collection of Reference Cases related to Quality Management in Audit Identified in Inspections (Certified Public Accountants and Auditing Oversight Board website) (Available in Japaneseopen new window)

Other Guidelines

Q&As

About Financial Instruments and Exchange Act

Recent Changes (Legislation, Ordinances, Guidelines)

Past

Public Comment

Invitation for Public Comments

Result of Public Comments

Public Comments and the FSA's views on Partial Revision of Guidelines for Supervision (Available in Japaneseopen new window)

Basel

About No-Action Letter System

No-Action Letter System

  • Introduction of the Prior Confirmation Procedures on the Application of Laws and Regulations by the Financial Services Agency (PDFAvailable in Japaneseopen new window)
  • Details of the Prior Confirmation Procedures on the Application of Laws and Regulations by the Financial Services Agency (Available in Japaneseopen new window)
  • Response to the Prior Confirmation Procedures on the Application of Laws and Regulations (Available in Japaneseopen new window)

General Inquiry on Laws and Regulations

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